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Root Causes of Low Employee Morale Study

Root Causes of Low Employee Morale Study

Federal Election Commission

Office of Inspector General

Root Causes of Low Employee Morale Study

July 2016

Assignment No. OIG-15-06

Root Cause(s) of Low Employee Morale July 2016

EXECUTIVE SUMMARY

Job Performance Systems (JPS) was hired by the of Inspector General (OIG) to report on the root causes of the Federal Election Commission’s (FEC) low morale. This study was motivated by past Federal Employee Viewpoint Surveys (FEVS) that place the FEC low on the Partnership for Public Service’s ranking of The Best Places to Work in the Federal Government. In addition employees have complained to the OIG about low employee morale.

METHODOLOGY

Following a review of the FEVS results and internal agency documents, JPS interviewed 78 individuals, facilitated 4 focus groups, and analyzed a customized survey completed by 185 personnel. The key statistic we used in evaluating survey items was the percent of respondents (excluding those choosing Not Applicable) that selected either the Agree or Strongly Agree option.

From all this data, JPS identified the major factors that were contributing to low morale. The statements made in this report are therefore based on an aggregation of data from what FEC staff communicated to JPS through interviews, focus groups, and a survey, as well as an analysis of FEVS data.

FINDINGS

The major causes of low morale can be grouped in five categories as shown in Figure 1.

Figure 1 Causes of Low Morale at the FEC

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Commissioners’ Statements and Actions

Employees fault the Commissioners for much of the low morale at the Agency. Many stated the negative tone set by the Commissioners impacts how employees feel about their . So too do public statements Commissioners make that criticize the Agency. Many employees do not feel that the Commissioners value their work. Employees also fault the Commissioners for poor staffing decisions within the Agency. In particular, employees feel that the Commissioners’ practice of leaving so many managers in an acting role negatively impacts the .

Ineffective

Many employees are also critical of top management and view them with suspicion and distrust. A significant number of employees do not feel the Staff Director, the Acting General Counsel, or the Acting Chief Financial Officer (i.e., the senior leaders) are effective. The fact that the Staff Director occupies two positions, head of the Office of Staff Director (OSD) and Office of Chief Information Officer (OCIO), is another common concern of employees. The fact that one individual holds both positions may contribute to the problems we heard about the quality of the information technology (IT) employees are provided and the support they receive.

A number of people believe that rewards, good assignments, and promotions unfairly go to managers’ favorites. A sign of the major gulf between employees and upper management was the fear that employees have of retribution should they voice their concerns.

Poor Communication

Almost universally, employees want more frequent and detailed communication from senior management. As examples, employees want to hear more quickly about changes in staffing, IT systems that are down, and the status of the possible building move. Inadequate communication may lead to the spread of rumors. Inadequate communication is also a major frustration voiced by employees subject to reorganizations.

Our survey reveals a major gap exists between managers and employees on this topic. While many supervisors and managers think upper management communicates adequately, relatively few employees share this perception. Our data also indicates senior management has much work to do to gain the trust of employees that what they do tell them is truthful. We believe that on many important subjects upper management and line employees just do not have all that many honest, open, and trust-building exchanges.

Lack of Accountability

Another theme we heard was the failure to effectively hire, develop, and hold people accountable for performance at higher levels of management. Many employees, however, have positive things to say about their own supervisor.

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A significant number of employees are also frustrated that there still exist chronic poor performers who are not being dealt with appropriately by management. Employees told us that in many cases this means the more capable and conscientious workers are asked to pick up the slack.

Other Factors

Perceived Lack of . It is the perception of many employees that the FEC has yet to implement an effective program to promote a more diverse and inclusive culture, particularly among higher levels of management. Some were frequently perceived as having predominately white, male managers.

Little Career Development and Limited Promotion Opportunities. Many employees face significant challenges in gaining promotions to higher level GS positions. These challenges include the limited number of openings associated with a small agency, little use of Individual Development Plans (IDPs), and limited career development discussions with supervisors. The widespread practice of filling positions in an acting rather than permanent capacity is a further frustration for some individuals seeking advancement. In the OGC, employees are frustrated that top management is hiring young attorneys from prestigious schools rather than putting more effort into developing and promoting from the current workforce.

CONCLUSIONS AND RECOMMENDATIONS

JPS has identified the major causes of the low morale at the FEC. The findings we reported in this study are entirely consistent across the interviews, focus groups, and survey plus years of FEVS ratings. The Commissioners and those at the most senior levels of management now need to make a commitment to improve Agency morale and invest the necessary time and resources to make a real difference.

While our task in this project was to clarify the factors causing low morale, this does not paint a full picture about working at the FEC. Employees also identified several factors which boost their morale. Most employees believe strongly in the mission of the organization. Many feel quite positive about the nature of their work. A good work-life balance was cited as a major plus and a major reason that many employees stay. Many individuals told us their colleagues and their immediate supervisor were positive factors about working at the FEC.

Clearly, some of the problems we identified in this study are easier to address than others. In any plan the Agency develops there will be relatively quick wins the Agency should seek, along with others that may take many months or years to achieve.

Longer term, the FEVS data and data collected in this study should serve as baseline information to determine if the changes being pursued are successful in improving Agency morale. Reversing the downward trend in FEVS ratings would be a welcome sign of success. The re-administration of items in the present study would be another way to quantify improvement.

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Commissioners and Management

There are a number of actions Commissioners should take that would support improved morale. All start with the Commissioner’s appreciation of the impact their statements and behaviors have on the workforce. At a more fundamental level, we encourage the Commission to rethink its approach to managing the workforce. Other strategies and models are possible that would require less of a need for input from across the Commission and result in greater delegation to Agency senior leaders on decisions that affect personnel.

Such a change in course is based upon the presumption of an effective management corps that has the confidence of line employees. We recommend that the Agency take steps now to enhance the skills and knowledge of its current managers. Formal and informal training is an example along with the widespread use of executive coaching. Filling management positions with permanent hires rather than with people in an acting role should be a priority along with separately filling the Staff Director and CIO jobs.

Communication

We advise Agency’s senior staff to ensure more timely information covering a greater number of topics is regularly provided to all members of the organization. Until this happens information gaps will continue to be filled by rumors and speculation. This study provides a starting point for identifying topics of particular interest to employees.

As good communication is a two-way street, the Commissioners and upper management need to also find ways to better learn the views and concerns of employees. Currently many employees either do not feel safe to express their views or do not believe their ideas will affect management decisions.

Management Accountability

We strongly encourage that management skills and potential are better defined, assessed, and used in making promotions within the management ranks. In addition, supervisors and managers not performing to expected levels need to be dealt with appropriately.

Management must also be held accountable for putting additional efforts into raising the quantity and quality of output from chronically disaffected and unmotivated employees and if those efforts are not successful, taking the necessary steps to discipline and/or remove those employees who are not fulfilling their responsibilities on the job. We feel that performance management in general represents a good opportunity for agency leaders and managers to cooperate and make improvements.

Diversity

Federal agencies make a commitment to inclusion through the implementation of a well-designed diversity plan. A typical element of an effective diversity program is the recruitment of applicants

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Root Cause(s) of Low Employee Morale July 2016 for mission critical occupations at colleges and universities that graduates relatively large numbers of women and minorities. Another element is a strategy to increase the number of women and minority in management positions within divisions where white males predominate. While the FEC has developed a diversity plan, the FEC needs to make full implementation of it a high priority.

Career Development and Promotion

A general conclusion of this study is that many employees feel discouraged about their chances for advancement and promotion. This has created high levels of frustrations among many. Some employees have even told us they have lost the desire to perform as a high achiever. There are numerous actions the Agency could take to further develop and support its people. In the case of the OGC it may also require focusing on development of the existing workforce.

Building on what is Already Working and New Ideas

One of the factors helping employees feel positive about the FEC is the opportunity to telework a few times a week. It appears that telework from an employee standpoint is working reasonably well. However, the FEC may want to determine what fine tuning could be done to make it more successful and increase the confidence in the program among top officials. Some managers told us they believe employees are less productive at home and communicating with them is more difficult.

In itself, more social events will certainly not turn around the poor morale at the Agency. Nevertheless, some more thoughtful, voluntary activities for people to interact seems worth the effort. An example of a professional activity offered by one survey respondent was a “lunch and learn” meeting where OGC attorneys could discuss noteworthy changes in campaign finance laws. Another suggestion was quarterly agency-wide updates by senior management on topics such as IT upgrades, personnel changes, or HR news. This activity would also have the benefit of improving Agency communications.

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TABLE OF CONTENTS

I. Introduction ...... 1 FEVS Survey Results...... 1 Data Collection Methods ...... 1 II. Findings ...... 2 Commissioners...... 2 Management ...... 4 Communication ...... 7 Management Accountability ...... 8 Other Factors ...... 9 III. Conclusions and Recommendations ...... 12 Commissioners and Management ...... 12 Communication ...... 13 Management Accountability ...... 13 Diversity ...... 13 Career Development and Promotion ...... 14 Building on What is Already Working and New Ideas ...... 14

Appendix A: Analysis of the FEVS Results at the FEC ...... 15 Appendix B: JPS Data Collection Methodology ...... 20 Appendix C: Interview Guide for Employees ...... 22 Appendix D: Notice of Rights and Protections ...... 25 Appendix E: Survey Results ...... 26 Appendix F: Percent Respondents that Agreed or Strongly Agreed with Each Item ...... 43

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I. INTRODUCTION

Job Performance Systems (JPS) was hired by the Office of Inspector General (OIG) to report on the root causes of the Federal Election Commission’s (FEC) low morale. This study was motivated by past Federal Employee Viewpoint Surveys (FEVS) that place the FEC low on the Partnership for Public Service’s ranking of The Best Places to Work in the Federal Government. In addition employees have complained to the OIG about low employee morale.

FEVS SURVEY RESULTS

JPS began this study by reviewing the FEVS ratings by FEC personnel. A detailed analysis of these rating appears in Appendix A. Our analysis found that the FEC was ranked near the bottom of the list of small agencies on the major constructs that the FEVS was designed to measure (i.e., , satisfaction, inclusivity). Furthermore, FEVS ratings given by employees at the FEC have steadily declined between 2011 and 2015.

While FEVS data can be very helpful to alerting an Agency to morale problems, it has limitations. In particular the FEVS does not distinguish among levels of leadership. Thus it cannot be used to compare employee’s attitudes between Commissioners, top leadership (i.e., Staff Director, General Counsel and Chief Financial Officer), and other managers. Most critical for the present study, the FEVS leaves questions unanswered about the root causes behind several of the ratings.

DATA COLLECTION METHODS

We used three methods to collect data in this effort (Appendix B provides detailed information). First, we conducted a large number of interviews with Commissioners, senior leaders (i.e., those designated as SL in the FEC’s databases), other manager, supervisors, and line employees. Over the course of several months, we interviewed a total of 78 individuals. Interviews typically lasted from one to one and a half hours. The individuals we talked to were quite forthcoming about both the challenges and rewards they experienced working at the Agency.

We next ran four focus groups with 11 staff participating. This enabled us to talk with some additional employees and to get their feedback on the findings we had obtained from the individual interviews. Finally, we constructed and administered our own survey to the Agency. This 63 items survey was completed by 185 people, 91 or whom also took the time to provide us with their written comments.

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II. FINDINGS

The major causes of low morale are depicted by the five blue circles in Figure 1.

Figure 1 Causes of Low Morale at the FEC

COMMISSIONERS

Most employees told us that the morale is poor in the part of the organization where they work. When we asked why, we frequently heard that the Commissioners were to blame. Actions and statements Commissioners make to each other are perceived by employees as signs of a partisan culture that is too often negative, unpleasant, and adversarial. This negative tone, in turn, affects how employees feel about their own jobs. Results from our survey confirm this sentiment. Eighty-eight percent of respondents say the tone set at the top impacts how they feel about their jobs and only 10% feel the tone is generally positive.

Some Commissioners have made negative public statements critical of the Agency. Our survey found that most (83%) of respondents believe these statements have a negative effect on the Agency’s work and mission. Perhaps most troubling was our finding that relatively few employees (only 27% overall and only 16% in OGC) feel that the Commissioners value their work.

Several employees whose job includes presenting matters to the Commissioners told us of instances in which they felt they had been unfairly put on the spot or attacked. These employees felt like pawns in a larger battle between the Commissioners.

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Commissioners were also faulted for their practice of leaving many management positions filled by people serving in acting roles. We interviewed a Commissioner and a top member of management who defended this practice saying it saved money hiring a new person and the quality of work done by managers in acting roles was unlikely to be different than would be achieved by hiring them permanently.

But the vast majority of employees, supervisors, and managers we talked to saw it quite differently. People we interviewed were able to identify managers they liked that left the agency because their positions were never made permanent. Other concerns we heard about leaving people in acting roles were:

• It created a domino effect on others who had to pick up the work left beyond by the person moving to the acting role. • It kept the person from engaging in long term planning. • It left the person feeling they did not have full authority. • It tended to make the manager a micro-manager out of concern that in an acting role they jeopardized their chances of being hired permanently if anything went wrong.

Key Survey Results 88% agreed that the overall tone set by top management (Commissioners and senior leaders) impacted how they felt about their job. Only 10% agreed that the tone set at the top is generally positive. 83% agreed that public statements about the other Commissioners and the Agency have a negative effect on the Agency’s work and mission. Only 27% of all respondents and 16% of OGC respondents agree that their work is valued by the Commissioners. 55% of all respondents and 72% of OGC respondents agree that Commissioners generally view Agency staff in an adversarial or obstructionist light. 72% of all supervisors and 74% of all employees agreed that having so many management positions filled with people in an acting role negatively impacts the Agency’s work.

Relevant Survey Comments The organizational tone starts at the top, and when you have Commissioners that openly speak negatively about the organization, openly disrespect other Commissioners or staff, and don't respect our time (staff meeting rarely start on time), then how are we to feel about our jobs or our importance? It is upsetting to see Commissioners insult each other at Executive and Open Sessions. This behavior has trickled down to their staff (EAs) [Executive Assistants] as they now treat OGC staff attorneys in an unprofessional manner. It is also frustrating to see how Commissioners do not act on reports/recommendations for months or years themselves and when a case is finally placed on the agenda, they and their staff are not forthcoming with OGC on the issues that they are concerned about. The Commissioners need to understand that as OGC attorneys we are here to advise them as best as we can and we can only provide sound and well researched advice if they actually share

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their concerns with us with sufficient notice. Instead, it seems that some Commissioners want to play gotcha [sic] and raise new issues with us for the first time during an Executive Session. For me, the biggest cause of low morale is that I spend lots of time working on projects that end up sitting for months or years because the Commission deadlocks or holds over discussion. Commissioners have also made derisive comments at Open Meetings about staff work generally (not about me in particular) that make the staff feel as if their work is not valued and they are not valued. Generally the FEC's problems start at the very top. Professionalism by staff overcomes a lot, but I think more permanent status for people in hold-over status or acting status, as well as upgrading some positions to GS-15 would go a significant distance in making improvements. I think first level supervisors and divisional leaders are serving admirably.

MANAGEMENT

Many employees we interviewed individually and in the focus groups wanted us to understand that while they felt the actions of the Commissioners were a major cause of low morale, actions by senior management were also a major contributing factor. In particular, we heard a large number of concerns and frustrations directed to the Staff Director, the Acting General Counsel and some of their direct reports. We even heard stories from some employees who described interactions in which they felt misunderstood, treated with suspicion, or unfairly attacked by the Staff Director.

Our survey confirms the poor opinion held by many employees about their senior leaders that was expressed to us in the interviews and focus groups. Only a minority of employees rated the Staff Director (26%), Acting General Counsel (25%), and Acting Chief Financial Officer (32%) as effective. These findings are also fully consistent with the latest EVS findings in which most FEC respondents indicated they were not satisfied with the policies and practices of their senior leaders and furthermore that their senior leaders failed to maintain high standards of honesty and integrity.

In our survey a number of employees also chose the Neither Agree Nor Disagree option in answering the question if they felt their top management was effective. We believe the FEC should be concerned about these ratings too. Good and great leaders inspire confidence and trust among the workforce, not ambivalence or a lack of opinion.

Another very troubling sign of the major gulf between employees and upper management is the fact that so many employees told us they feared retribution should they voice their concerns and issues to management. Our survey confirmed how widespread this sentiment is. Over half of all respondents (55%) say they are careful about what they say. This finding is consistent with the response to a similar item on the latest FEVS survey. We question how effective an organization can be when so many employees think management does not want to hear their ideas and concerns or may punish them for bringing them up.

The fact that the Staff Director occupies two positions (Staff Director and CIO) was a common concern of many employees and several supervisors. The feeling was that two jobs deserved the

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full time attention of separate job holders. There was also the feeling that having one person occupy both positions left employees with reduced avenues of recourse should they have a significant technology or personnel issue that they felt was not being addressed adequately, as organizationally the CIO reports to the Staff Director.

Having one person responsible full-time for IT matters appears further warranted given the complaints we heard about the quality of the technology employees were provided and the support they received. We heard of computers that were slow or would freeze. We heard employees complaining that their versions of software were old or inadequate. We heard stories of new laptops that were ordered and arrived but were delayed in being distributed due to difficulties in configuring them and getting them to work with other FEC software systems. One individual in OCIO suggested this process could take so long that new computers would sometimes go out of warranty before being used. The employees and supervisors we talked with did not seem to know how the rollout list for new equipment was made and where they stood in the line. The perception was that the status of current equipment was not well tracked and that the FEC lacked an accurate list of aging equipment. Having a full time, dedicated CIO to devote his or her complete attention to IT issues may well alleviate some of the problems mentioned by employees.

We heard from some attorneys who expressed their frustration that they did not get more support from OGC management when they presented cases to the Commissioners. As examples, employees felt management should be more willing to step in on matters in the case of reports that the employee did not draft (and instead were written by management), on issues of general enforcement policy or practice for which they were not responsible, and when asked to defend the time it took to prepare a case in which the hold-up was due to a lengthy management review.

In OGC, employees also reported that different supervisors held employees to different standards as to what qualified as acceptable work product. The question as relayed by employees was why senior management did not take more effective steps to define the range of what was acceptable or promote uniformity.

A number of people we interviewed told us that rewards, good assignments, and promotions appeared to go to managers’ favorites. We heard many stories from employees who believed that they and their peers had been passed over for rewards that went to those who had bonded with their manager due to non-work reasons. The reasons might be similarity to the manager (e.g., race, gender, or age), pedigree (e.g., the person graduated from a name school), personality traits (e.g., extroverted/people person), or a friendship that included time spent together outside of work activities.

Compounding employee distrust of management, we were told that the union had uncovered in the past that a large portion of the bonus money had been expended on management bonuses. While the most recent union contract changed this practice, several employees listed this to support their belief that too many managers had a self-serving focus.

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Finally, there is also widespread dissatisfaction among employees with how the performance management system is implemented. About half (46%) of employee feel their ratings are predetermined by management and there is little they can do to raise them.

Relevant Survey Results Only 26% agreed that the Staff Director/CIO is an effective leader. Only 25% agreed that the Acting CFO is an effective leader. Only 32% agreed that the Acting GC is an effective leader. 70% agreed that having one person occupy both the CIO and Staff Director positions results in not enough time being devoted to either position and impacts Agency performance. 64% agreed that having one person occupy both the CIO and Staff Director positions results in too much power concentrated in one person. Only 50% of all respondents and 40% of OGC employees agreed that they could count on their management team to support them should their report/work be challenged. 79% of all respondents agreed that the process followed to upgrade computers and software is not clear and transparent. 71% of employees (non-supervisors) agreed that too often rewards, good assignments, and promotions appear to go to managers’ favorites. Only 21% of employees (non-supervisors) said that gift cards, time off, and other "on-the- spot" performance awards are fairly distributed. 46% of all employees agreed that their ratings were predetermined by management and there is little they can do to raise them. 55% of all employees agree they are careful what they say or do for fear of being categorized as an “out-group” member or receiving some other type of retribution.

Relevant Survey Comments OGC managers need management and leadership training as they only seem focused on meeting deadlines and do not appear to know how to lead other people. Many managers lack the skill set necessary to effectively manage people. Communication is poor. Managers are stubborn with a strong sense of arrogance; they generally resist any effort to meet employees halfway on issues. I think attention should be paid to the procurement of computers and iPhones and then the failure of the Agency to release this equipment to staff for years, though current technology is malfunctioning in a way that adversely affects our work and performance. Managers in enforcement do not assign cases fairly to attorneys. Favored attorneys are given prime, high-profile cases, and cases with good facts or clear violations of law. Others are given cases with difficult fact patterns, or unsettled case law, and they are not given credit for working on these bad case assignments. Not only is this unfair and stifles promotion opportunities, but it does not allow for input from all attorneys in the enforcement division on the high profile cases. There are gift cards or time off awards they could be giving us in enforcement, but managers just don't want to. I saw more gift cards distributed to kids at the take your kids to work day ceremony, than I have ever seen the attorneys in enforcement get. Those that work hard do not seem to be acknowledged differently than those that do not perform as well. Job Performance Systems. 6

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COMMUNICATION

There was the general consensus among the employees we interviewed that they wanted more frequent and detailed communication from senior management. Examples of poor communication included lack of announcements when people in senior positions left, lack of a more timely response from IT acknowledging that systems were down, and lack of information about the status of a possible building move.

Lack of communication was also a frustration for employees who were part of current or past reorganizations. Employees felt the reasons for the moves were never fully clarified, their input was not well solicited, and efforts to smooth the transition were insufficient. Employees remembered feeling concerned about their future, unclear if their work was valued, and surprised that upper management would not make time to come down and talk to them more often as the plan was developed and implemented.

Our survey reveals a major gap exists between managers and employees on the topic of communication. While many supervisors and managers think upper management communicates adequately, relatively few employees share this perception.

Several people remarked about an all hands meeting held at the E-Street cinema. Many people appreciated the event and voiced a desire for additional meetings of this type. Some people however were disappointed that they did not get more of their questions answered at that time. Employees were given the opportunity to submit questions ahead of time. One suggestion we heard was that senior officials should have taken the time to read and directly answer each of the questions.

Our study results indicate that beyond just increased communication, top management has some work to do to gain the confidence of the workforce that what they say can be trusted. Less than a third of the respondents to our survey felt senior management is truthful.

Good communication in means important information flows both top-down and bottom-up. Unfortunately, we heard few stories in our interviews with employees in which they said their thoughts were solicited and acted upon my upper management. What we heard more frequently from employees was the belief that their thoughts were either not welcomed or unlikely to impact decisions of top management.

Relevant Survey Results Only 25% of all respondents (supervisory and non-supervisory) and 18% of non-supervisory employees agreed that top management does a good job of communicating to them things they feel are important. 84% agreed they would like to get more frequent and up-to-date information on such things as the building move, when senior people leave, reorganizations, when IT systems are down. While 59% agreed that they feel confident in what their supervisor tells them is true only 31% agreed they feel confident in what senior management tells them is true.

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50% agreed that the union is an important source of information to them about what is going on. 81% agreed that lack of communication from management creates an information vacuum that gets filled with rumors and .

Relevant Survey Comments Not enough top-down communication and openness from Commissioners to all staff and/or senior level to all staff

MANAGEMENT ACCOUNTABILITY

Our data indicate that there are some problems in how top leadership holds some managers accountable. There are likewise problems in how managers hold some supervisors accountable.

Over half of survey respondents agreed that there are supervisors or higher level managers in their division or office who treat employees poorly or inappropriately and yet nothing happens to them. Employees in confidence named to us individual supervisors and managers who they felt were incompetent, untrustworthy, or abusive. It is highly corrosive to morale if employees believe that their management chain contains members that are clearly undeserving of respect and yet leadership does nothing.

It is also a function of management to ensure that supervisors carry out their responsibilities to motivate low performing employees and move to plans when needed. But many employees we talked to could identify chronic poor performers in their unit or division that they felt were never dealt with appropriately. In a number of cases, employees indicated their had gone up at times by being asked to take on work held back from others that lacked the or skills to perform. Our survey results appear to support these findings. Just under half of all respondents said there were one or more chronic performers in their division not being managed appropriately. Just under half also said they had put in extra work to make up for other not pulling their weight.

Relevant Survey Results 53% of all employees agreed that there are supervisors or higher level managers in their division/office that treat employees poorly or inappropriately and yet nothing happens to them. 48% of employees agreed that effective action is not being taken with one or more chronic poor performers in their division. 48% of employees agreed they had put in extra work to make up for one or more employees that have not been pulling their weight.

Relevant Survey Comments Some leaders take an unprofessional, hard-nosed, punitive or approach to managing staff, rather than seeing that they're responsible for helping to develop & to keeping staff motivated.

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Management fails to address employees who are constantly underperforming and rarely volunteer to assist with special projects. As a consequence, other employees take on additional assignments from these underperforming employees. Managers need to help underperformers improve by working with them throughout the year, providing them training, etc.

OTHER F ACTORS

Diversity

A number of women and minorities we interviewed expressed disappointment that management positions in parts of the organization were not held by a more diverse set of individuals. There is a perception by some that the lack of more African American males in upper management in some divisions was a major shortcoming of the Agency.

No one we interviewed told us of instances of blatant discrimination that they had experienced. But some suspected that race, gender, or age did somehow made them or their colleagues less desirable for promotion.

In our interviews with senior leaders we asked what was being done to promote the hiring and advancement of women and minorities. No one could tell us of any actions they were following that were part of the implementation of a formal program to promote diversity. As one example we asked about efforts to recruit individuals at schools like Howard or the University of Maryland. We were told this type of recruitment had been done in the past, but not anymore.

Federal agencies can make a commitment to inclusion by the implementation of a formal diversity plan. A typical element of an effective diversity program is the recruitment of applicants for mission critical occupations at colleges and universities that graduates relatively large numbers of women and minorities. Another element is a strategy to increase the number of women and minority in management positions within divisions where white males may predominate. While the FEC has developed a diversity plan with actions such as this, our management interviews and interviews with members of the EEO office indicate that key elements of the plan have yet to be executed.

Relevant Survey Results 51% of all respondents and 64% of all OGC respondents agreed that the Agency should be doing more outreach to attract qualified minority job candidates. 48% of all respondents and 72% of all OGC respondents agreed that they feel women and minorities are underrepresented in management positions.

Relevant Survey Comments It is demoralizing to watch OGC managers reward favorites with supervisory positions and pass over more experienced applicants with actual prior supervisory and leadership experience. This has happened several times in the past. It is concerning that staff attorneys

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of color have been passed up and [Caucasian] attorneys with less experience have been promoted.

Career Development and Promotion

The vast majority of employees in our survey agreed that the Agency should put more emphasis on career development. Many employees across the FEC face significant challenges in gaining promotions to higher level GS positions. These challenges include the limited number of openings associated with a small agency, little use of individual development plans (IDPs), and limited career development discussions with supervisors. The widespread practice of filling positions with acting rather than permanent positions is a further frustration for some individuals seeking advancement.

The inability to get a promotion was the number one frustration among some of the people we interviewed. Typically they had applied for openings one or more times without being selected. Many of these people had sought and obtained feedback as to what they could do to improve. Often, however, the feedback was not seen as very helpful because the employee was skeptical that it was true or felt it was something they could not fix (e.g., a trait or other basic feature of their personality).

Our survey indicates that many employees are quite skeptical that promotions are based primarily on job relevant capabilities. In fact, only 30% of employees agreed that is was one’s job capabilities that got you hired rather than other factors like the school you attended, your age, or your race.

In the OGC, there is the widespread perception that the focus of senior leaders is on hiring young attorneys from prestigious schools over developing and promoting from within. This was particularly galling to some employees who reported they had to teach the new hires how to perform their jobs and in their interactions saw no level of knowledge or skill from these people that was greater than their own.

Relevant Survey Results 78% of all respondents (supervisory and non-supervisory) and 87% of all non-supervisory employees agreed that the Agency should put more emphasis on employee career development. Only 46% of all employees, 33% of OGC employees, and 30% of OCFO employees agreed that they have discussed their career path with their supervisor. 63% of all supervisors and 30% of all employees agreed that getting hired and promoted is based more on your skills and capabilities than it is on things like what school you attended, your age, your minority status or on other things not related to job performance.

Relevant Survey Comments For me personally, my only challenge or frustration is being stuck at the top of my grade for my entire career here, with no guidance how to move forward and upward.

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My supervisors don't promote from within the agency when there are vacancies. This has a vastly negative effect on morale for several reasons: first, we feel as though there are no opportunities to advance, second, it makes us wonder how other divisions within the agency view us when our own supervisors won't hire us to senior level positions, and finally, we start to wonder how many of our colleagues are searching for jobs elsewhere, which may make us reluctant to start long-term projects. Managers should stop promoting their favorite employees and should promote employees who do the best/most work. … the Acting General Counsel has targeted staff for special positive and negative treatment. Persons receiving positive treatment get frequent visits and the most challenging and important cases. Other staff, not so fortunate, are targeted for low-level cases and basically sit around all day and do nothing. Most of the paralegals and targeted attorneys are never available on their telework days and have such a low case load we sometimes forget the employees still work here.

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III. CONCLUSIONS AND R ECOMMENDATIONS

JPS has identified the major causes of the low morale at the FEC. The findings we reported in this study are entirely consistent across the interviews, focus groups, and survey plus years of FEVS ratings.

Our task in this project was to clarify the underlying reasons for low morale. This means we focused upon factors having a negative impact on a significant number of employees. However, this does not paint a full picture about working at the FEC. Employees also identified several factors which boost their morale. Most employees believe strongly in the mission of the organization. Many feel quite positive about the nature of their work. A good work-life balance was cited as a major plus and a major reason that many employees stay. Many individuals told us their colleagues and their immediate supervisor were positive factors about working at the FEC.

The purpose of this study is to provide information on the root causes of low morale at the FEC, and not to make specific recommendations for addressing the causes. Thus, we are not listing detailed steps or actions for management to take. We do however, offer a number of general recommendations for FEC Commissioners and top management to consider.

First, Commissioners and top management would not be serving the Agency well by seeking reasons to discount the findings in this study. Instead the Commissioners and leaders need to make a commitment to improve Agency morale and invest the necessary time and resources to make a real difference. A unified message from the Commissioners and leadership to the Agency acknowledging the problems identified in this study and the commitment to action could mean a lot to the workforce.

Clearly, some of the problems we identified in this study are easier to address than others. In any plan the Agency develops there will be relatively quick wins the Agency should seek, along with others that may take many months or years to achieve. Our thought is some relatively quick gains might be achievable in areas such as communications, career development, distribution of rewards and good assignments, and permanently filling positions now filled by acting personnel.

Longer term, the FEVS data and data collected in this study should serve as baseline information to determine if the changes being pursued are successful in improving Agency morale. Reversing the downward trend in FEVS ratings would be a welcome sign of success. The re-administration of items in the present study would be another way to quantify improvement.

COMMISSIONERS AND MANAGEMENT

There are a number of actions Commissioners could take that would support improved morale. All start with the Commissioners’ appreciation of the impact their statements and behaviors have on the workforce. At a more fundamental level, we encourage the Commission to rethink its approach to managing the workforce. Other strategies and models are possible that would require less of a need for input from across the Commission and result in greater delegation to Agency top leaders on decisions that affect personnel. Job Performance Systems. 12

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Such a change in course is based upon the presumption of an effective management corps that has the confidence of line employees. We recommend that the Agency take steps now to enhance the skills and knowledge of its current managers. Formal and informal training is an example along with the widespread use of executive coaching. Development and implementation of a succession plan is also worth considering. Filling management positions with permanent hires rather than with people in an acting role should be a priority as is separating the Staff Director and OCIO jobs.

COMMUNICATION

It is axiomatic that managers think they communicate effectively while employees think they do not. We advise Agency’s senior staff to ensure more information covering a greater number of topics is regularly provided to all members of the organization. Until this happens, information gaps will continue to be filled by rumors and speculation. This study provides a starting point for identifying topics of particular interest to employees. The Agency may want the ongoing assistance of a communication specialist to help gather and disseminate information using a variety of communication channels.

As a side note, the high level of frustration we heard from employees about recent reorganizations at the FEC suggests a disregard of some basic principles of effective organizational change. One principle is to communicate to employees and seek input throughout the entire process. Employees will naturally be concerned that their jobs are at risk, the knowledge and skills they have developed will no longer be useful, and that their quality of work life may take a change for the worse. Holding information about the reorganization plans until they are completed may make sense to management but in practice this is rarely an effective strategy as it exacerbates employee concerns, fails to combat false rumors, and prevents management from hearing good ideas from employees.

MANAGEMENT ACCOUNTABILITY

We strongly encourage that management skills and potential are better defined, assessed, and used in making promotions within management ranks. In addition, supervisors and managers not performing to expected levels need to be dealt with appropriately.

Management must also be held accountable for making appropriate efforts to raise the quantity and quality of output from chronically disaffected and unmotivated employees or if those efforts fail take the appropriate actions to discipline or remove those employees. We feel that performance management in general represents a good opportunity for the divisions, the Staff Director, and the Office of Human Resources to cooperate and make improvements.

DIVERSITY

Federal agencies can achieve a more diverse workforce throughout its ranks by the implementation of a diversity plan. While the FEC has written such a plan it has yet to fully

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implement it. Among the elements of the plan that deserve attention is the recruitment of applicants for mission critical occupations at colleges and universities that graduates relatively large numbers of women and minorities. Management we talked to at the FEC stated they would be quite interested in supporting such recruitment efforts.

CAREER DEVELOPMENT AND PROMOTION

A general conclusion of this study is that many employees feel discouraged about their chances for advancement and promotion. This should be a significant concern to management as it is a substantial cause of low morale to a large number of employees. There are numerous actions the Agency could take to further develop its people. But they all require attention and effort from management.

BUILDING ON WHAT IS ALREADY WORKING AND NEW IDEAS

One of the factors helping employees feel positive about the FEC is the work-life balance they experience. One element to this is the opportunity to telework a few times a week. It appears that telework is working reasonably well at the FEC although some employees felt that it is not well-managed. The FEC may want to determine what fine tuning could be done to make it more successful and increase the confidence in the program among top officials.

Another factor that supports a positive morale among employees are the working relationships they have established with their colleagues. In itself, more social events will certainly not turn around the poor morale at the Agency. Nevertheless, some more thoughtful, voluntary activities for people to interact seems worth the effort. Such activities could either be primarily professional, informational, or social in nature. An example of a professional activity offered by one survey respondent was a “lunch and learn” meeting where OGC attorneys could discuss noteworthy changes in campaign finance laws.

An additional suggestion was quarterly agency-wide updates by senior management on topics such as information technology upgrades, personnel changes, or human resources news. This activity would also have the benefit of improving Agency communications. It may make sense to ensure one or more people are formally assigned the role of promoting and overseeing such activities.

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APPENDIX A ANALYSIS OF THE FEVS R ESULTS AT THE FEC

JPS began this project by reviewing the ratings that FEC employees provided to OPM’s annual Federal Viewpoint Survey (FEVS). The results of this steps helped us to compose interview questions, focus group questions, and our own survey that we administered to FEC personnel.

The FEVS is composed of 77 attitudinal items (plus several demographic questions and questions about participation in work/life programs). Employee ratings are made on a 5 point scale (i.e., Strongly Agree, Agree, Neither Agree or Disagree, Disagree, and Strongly Disagree). A positive rating is considered one in which an employee selects either Strongly Agree or Agree.

Many of the items can been combined into indices measuring a similar topic. At the highest level are three major indices: Engagement, Global Satisfaction, and New Inclusion Quotient (New IQ). Engagement and New IQ can be further divided into sub-indices. OPM describes the Engagement Index as a measure of the employee’s sense of purpose that is evident in their display of dedication, persistence, and effort in their work or overall commitment to their organization and its mission. Global Satisfaction measures employee satisfaction about their job, their pay, their organization, and whether they would recommend their organization as a good place to work. The New IQ assesses behaviors that help create an inclusive environment. The table below compares ratings across small agencies with the FEC based upon the latest FEVS survey (i.e., 2015). As can be seen, the average percentage of employees that gave positive ratings across small agencies is larger than the average percentage of raters that gave positive ratings at the FEC on every index and sub-index.

Comparison of Small Agencies to the FEC on FEVS 2015 Indices FEC Average Percent Average Agency Index Positive Across Percent Ranking Small Agencies Positive

Engagement 64 55 34th out of 38 Leaders Lead 54 33 37th out of 41 Supervisors 75 71 29th out of 41 Intrinsic Work Experience 72 61 37th out of 41 Global Satisfaction 62 43 38th out of 41 New IQ 60 51 36th out of 41 Fair 49 41 36th out of 41 Open 59 45 37th out of 41 Cooperative 53 44 35th out of 41 Supportive 78 77 26th out of 41 Empowered 60 46 38th out of 41

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The authors of this report counted the number of individual small agencies whose average percent positive index score was greater than the FEC’s. From this data we could determine how the FEC ranked. This information is contained in the last column of the table. On all but two indices, the FEC ranks near the bottom of the list. The exceptions are 1) views about their supervisor and 2) the organization’s support for inclusion. For both these sub-indices the FEC ranks closer to the middle of the pack.

The next table provides information on how FEC’s average percent positive ratings on the indices have changed overtime. The general trend over time is a decline in positive ratings. In all instances positive ratings in 2015 have dropped by 4 or more points since 2011. The most significant drop is for the Leaders Lead sub-index. Only a third of all employees currently feel positive about their agency leaders.

FEC Trends on FEV Indices between 2011 and 2015 Index 2011 2012 2013 2014 2015 Engagement Overall 62 60 61 60 55 Leaders Lead 45 45 45 40 33 Supervisors 76 70 74 74 71 Intrinsic Work Experience 66 64 63 66 61 Global Satisfaction 55 50 46 44 43 New IQ 59 56 55 54 51 Fair 47 44 39 43 41 Open 60 56 53 50 45 Cooperative 53 50 51 47 44 Supportive 81 76 79 79 77 Empowered 55 53 51 52 46

The next table displays individual items from the 2015 FEVS in which employees across the Federal government gave significantly more positive ratings than did the FEC as whole, and as compared to the Office of the Staff Director (OSD), or the Office of the General Counsel (OGC). We defined significant as a difference of at least 10 points. With this standard, then 41 of the 77 items represent a potential concern. Cells highlighted in yellow indicate a difference of between 10 and 20 points. Cells highlighted in red indicate a difference of over 20 points. There are several observations that can be made from this table. In particular:

• Employees in the OGC tend to provide lower ratings than those across the FEC as a whole or in the OSD. • Ratings given to items 4, 5, and 13 suggest that employees have some basic concerns about the value of the work they are doing. • Ratings to item 17 indicate that many employees, particularly in the OGC, fear reprisal if they were to speak up about major problems. • Employee’s sense of personal is quite low across the organization (item 30).

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• Employees tend to rate the organization relatively low on policies and programs that promote diversity (item 34). • Some employees are raising concerns about health and safety, particularly those in the OGC (item 35). • Relatively few employees think the FEC is accomplishing its mission (item 39). In addition, relatively few employees recommend the organization to others (item 40). • Most employees do not believe they have good leaders (items 53 – 61).

Individual FEC FEVS items Diverging 10 or more Points from the Government Average Item Gov. Item FEC OSD OGC # wide I am given a real opportunity to improve my skills in 1 61.3 54.2 63.9 45.1 my organization. 2 I have enough information to do my job well. 69.9 62.7 65.5 59.4 I feel encouraged to come up with new and better 3 56.5 50.3 61.8 38.4 ways of doing things. My work gives me a feeling of personal 4 70.4 50.7 59.6 45.5 accomplishment. 5 I like the kind of work I do. 82.9 72.4 70.1 72.5 8 I am constantly looking for ways to do my job better. 90.5 83.7 88.6 78.6 11 My talents are used well in the . 57.7 47.8 53.8 39.2 13 The work that I do is important. 90.0 76.2 84.0 68.5 I can disclose a suspected violation of any law, rule or 17 61.2 54.6 67.1 42.9 regulation without fear of reprisal. 18 My training needs are assessed. 51.7 42.9 60.9 28.7 In my work unit, differences in performance are 24 32.8 30.7 37.2 20.9 recognized in a meaningful way. Employees in my work unit share job knowledge with 26 72.7 65.2 53.7 72.1 each other. The skill level in my work unit has improved in the 27 52.5 41.7 45.1 34.7 past year. Employees have a feeling of personal empowerment 30 43.0 23.8 31.7 18.5 with respect to work processes. Employees are recognized for providing high quality 31 46.5 35.1 43.3 35.1 products and services. 32 Creativity and innovation are rewarded. 36.7 28.8 35.0 25.1 Policies and programs promote diversity in the workplace (for example, recruiting minorities and 34 56.5 41.5 35.7 46.0 women, training in awareness of diversity issues, mentoring). Employees are protected from health and safety 35 75.9 60.7 65.3 54.5 hazards on the job.

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My organization has prepared employees for potential 36 75.9 61.8 60.1 60.3 security threats. Prohibited Personnel Practices (for example, illegally discriminating for or against any employee/applicant, 38 obstructing a person's right to compete for 65.6 58.9 68.8 52.8 employment, knowingly violating veterans' preference requirements) are not tolerated. 39 My agency is successful at accomplishing its mission. 73.2 27.7 35.1 20.7 I recommend my organization as a good place to 40 62.7 30.5 42.5 22.8 work. I believe the results of this survey will be used to 41 39.0 26.0 29.1 21.7 make my agency a better place to work. Supervisors in my work unit support employee 47 64.3 58.2 61.7 51.3 development. In the last six months, my supervisor has talked with 50 77.5 75.4 87.5 67.3 me about my performance. In my organization, senior leaders generate high 53 levels of motivation and commitment in the 39.0 18.6 23.7 14.5 workforce. My organization's senior leaders maintain high 54 50.4 31.3 36.6 28.0 standards of honesty and integrity. Supervisors work well with employees of different 55 62.9 47.4 45.3 49.4 backgrounds. Managers communicate the goals and priorities of the 56 59.1 40.0 48.4 36.4 organization. Managers review and evaluate the organization's 57 58.8 41.8 53.0 32.6 progress toward meeting its goals and objectives. Managers promote communication among different 58 work units (for example, about projects, goals, 50.5 40.8 40.1 41.8 needed resources). Overall, how good a job do you feel is being done by 60 the manager directly above your immediate 56.8 44.2 51.7 39.0 supervisor? I have a high level of respect for my organization's 61 51.4 28.9 38.8 23.3 senior leaders. How satisfied are you with your involvement in 63 49.6 41.3 45.6 35.4 decisions that affect your work? How satisfied are you with the information you 64 receive from management on what's going on in your 46.8 35.3 45.6 28.2 organization? How satisfied are you with the recognition you 65 46.6 43.4 54.5 35.4 receive for doing a good job? How satisfied are you with the policies and practices 66 40.8 27.9 38.2 19.6 of your senior leaders?

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Considering everything, how satisfied are you with 69 65.2 50.0 64.4 39.9 your job? Considering everything, how satisfied are you with 71 55.7 31.6 41.5 25.1 your organization? How satisfied are you with the following Work/Life 80 programs in your agency? Alternative Work 89.0 84.8 92.7 75.6 Schedules (AWS) How satisfied are you with the following Work/Life 82 programs in your agency? Employee Assistance 74.8 74.3 50.0 84.2 Program (EAP)

On the more positive side FEC employees appear to make a distinction between their own supervisor (whom in many cases they rate fairly positively) and their organization’s leaders (whom they generally rate negatively). Finally, FEC employees appear to be relatively satisfied with their pay and some work/life programs (i.e., telework and wellness).

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APPENDIX B JPS DATA COLLECTION METHODOLOGY

I NTERVIEWS

JPS conducted interviews with 78 FEC individuals. Of this group five were Commissioners and eight were senior level managers. The OIG directly contacted all Commissioners and senior level managers (those with the designation SL in FEC’s employment databases) and scheduled a time for them to meet with us. Supervisors and other employees were invited to participate via an agency wide-email. JPS held office hours, three times a week at the FEC between December 21, 2015 and March 2, 2016 to talk with supervisors and employees. We also met with a few employees at off-site locations. This was done at the request of the employees who told us they did not feel comfortable talking to us in the FEC building.

Most interviews lasted from one to one and a half hours. JPS had prepared a set of questions in advance (See Appendix C for a copy of the interview guide). We began each interview by introducing ourselves and describing the purpose of the study. We then provided respondents below the Senior Level with a description of their rights and an assurance of confidentiality (See Appendix D). We then asked our first question. In some cases we did not ask all questions in the interview. This was because we preferred to let the person take the lead and freely express their beliefs about the root causes of low morale.

We were very gratified by the interest of so many people in participating in this phase of the data collection effort. We heard very many heartfelt stories about both the rewards and challenges associated with working in the organization. Toward the end of this process we consolidated the information we had heard into a group of themes.

FOCUS GROUPS

Next, we conducted four small focus groups in which a total of 11 staff participated. One group contained only supervisors and the remaining three were composed of employees. To the extent possible, we also tried to place people in groups with those from different parts of the organization.

We generated a standard set of questions for the sessions. Before starting, we introduced ourselves, described the purpose of the session, clarified the ground rules, and reviewed their rights. We anticipated that some participants might be reluctant to share too much sensitive information, out of concern their fellow participants may pass their comments onto others. We therefore encouraged participates to meet with us individually if they felt they had something to tell us and do not want to disclose it in the group interview. Some of the participants chose to follow-up with us after their session.

The focus groups allowed us to add to the number of employees and supervisors that contributed to the effort. They also helped us refine and validate the themes we identified in the individual interviews. In these groups we described each theme and asked the group members to comment

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as to whether they agreed it was a significant cause of low morale. Members of the groups generally agreed that we had developed an accurate and comprehensive list.

SURVEY

Upon completion of the individual interviews and focus group sessions we distributed an electronic survey to all members of the FEC. The survey contained 63 items plus a comment section at the end. The purpose of the survey was to provide an additional opportunity for all to participate. It also enabled us to more precisely quantify the extent to which certain attitudes and experiences were felt across the organization.

The OIG issued an invitation to all FEC members to take the survey. The invitation explained that respondents needed to fully complete the survey for their responses to be analyzed. A reminder was sent to participants after a week had passed. The survey was open for responses for a total of two weeks.

A total of 185 people completed the survey (49 supervisors/managers and 136 non-supervisors). Ninety-one of the respondents also took the time to provide written comments. The table below provides a breakdown of respondents by division and office.

Number of Respondents by Division/Office Division/Office Total Supervisors/ Employees Respondents Managers All FEC 185 49 136 Office of Commissioners 5 2 3 OGC 78 15 63 OSD 65 22 43 OCIO 27 8 19 OCFO 10 2 8 OIG 0 0 0 Note: As sponsors of this study, members of the OIG did not participate in the data collection efforts.

Most survey items were rated on a 1 to 5 point scale (Strongly Disagree to Strongly Agree) that also had a Not Applicable (N/A) option. Following the process used by OPM with the FEVS we calculated the percentage of respondents who agreed with each item by first adding together the number of respondents that rated it as either a 4 – Agree or 5 – Strongly agree. We then divided this sum by the total number of respondents. In performing the division, we excluded any respondent who marked N/A for the item from the respondent total. The percentages appear in Appendix F.

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APPENDIX C INTERVIEW GUIDE FOR EMPLOYEES

I. Background Information

Name of interviewee ______Job title: ______

Organizational unit (office/division and unit) ______

Name of interviewer(s) ______Date/Time ______

Rescheduled Date/Time(s)______

Type interview: ___Scheduled Interview ___Requested by Interviewee __Drop in office

Comments ______

I. Introductions • Introduce ourselves • Ask what they have heard about the study • As appropriate, describe the study: o OIG is the sponsor for this study o Study being done in response to results of the FEVS and other comments OIG has heard about low morale o Goal is to gain insights into causes of low morale and make recommendations and proposed corrective actions o Ask if it’s OK for us to type while they talk

II. Interview Questions

Work History, Responsibility, General Morale Questions

1. What are your responsibilities in your current job?

2. We have a number of specific questions we want to ask that come mostly from ratings to the FEVS. But first a few general questions. What are your thoughts about the level of employee morale at the FEC?

3. If you think it is low, then what is the major reason or reasons?

IV. Specific Questions about Morale

1. FEC Leadership

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1.1 What are the actions that leaders take (or fail to take) that contribute to the low FEVS ratings by employees?

Clarify the level of leadership they are referring to in their answer to this and the next three items. As appropriate, probe for respondent’s thoughts to the following levels of leadership:

1. Commissioners 2. Directors (Staff Director, General Counsel, CFO) 3. Deputy General Counsels, Deputy Staff Directors, Associate General Counsels 4. Assistant Staff Directors 5. Office Heads (e.g., Administrative Officer, EEO HR) 6. Assistant General Counselors, Team Leaders, other Supervisor Positions

1.2 Are leader’s attitude and the tone having an impact on morale?

1.3 Do leaders respect chain-of-command regarding assignments?

1.4 Do you know if your supervisor/leader looks at FEVS results for your area? If yes, what did he/she do with the information?

2. Differences in Morale by Agency Component or Type of Worker

2.1 Are there special challenges that people in your part of the organization face that contribute to low morale?

2.2 Are there special challenges for certain groups of people?

(Probe for those in certain jobs, disabled employees, women over 40, etc.)

(If person is in the OGC then probe for why morale is especially low there).

3. Workload and Staffing

3.1 What is the workload like where you work? Is work assigned fairly?

Probe for possible perception that good assignments go to favored employees.

3.2 Are there key positions that are vacant or filed with people in an acting role? What impact does this have on morale?

3.3 What is the agency philosophy on filing such positions?

4. Neglect or Mistreatment

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4.1 Some employees report being treated unfairly or in a way that is not respectful? Have you seen or experienced such problems yourself?

4.2 Some employees report their work has little value. Again, why do you think this is the case?

4.3 Is there a problem with favoritism?

4.4 Do you feel safe to raise concerns or issues? Why?

5. Performance Management

5.1 To what degree are poor performers dealt with appropriately?

6. Training, Development, Advancement

6.1 Are you able to obtain sufficient training and other opportunities to develop and advance?

6.2 Do you feel training and other opportunities are offered fairly?

Probe for perception that some groups get more than others (e.g., only attorneys in OGC get offered training).

7. Empowerment

7.1 Do you feel empowered here? Why?

8. Diversity

8.1 How active is the FEC in being an inclusive organization? What could be done to make the FEC a more positive and diverse organization?

9. Work/Life Programs

9.1 Two programs that employees rate somewhat low are the Employee Assistance Program (EAP) and Alternative Work Schedule (AWS). Have you experienced issues with these programs?

Other Questions

1. What impact, if any, does the HR group have on morale?

2. Is there anything else that would help us understand the causes of low morale or what could be done to improve employee morale?

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APPENDIX D NOTICE OF RIGHTS AND PROTECTIONS

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APPENDIX E SURVEY R ESULTS

Q1: Are you a supervisor or manager? Answered: 185 Skipped: 0

Q2: How long have you worked here? Answered: 185 Skipped: 0

Q3: Where do you work?

Answered: 185 Skipped: 0

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Q4: Where in OGC do you work? Answered: 78 Skipped: 107

Q5: Where in OSD do you work? Answered: 65 Skipped: 120

Q6: The overall tone set by top management (Commissioners and senior leaders) impacts how I feel about my job.

Answered: 185 Skipped: 0

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Q7: The tone set at the top is generally positive.

Answered: 185 Skipped: 0

Q8: Public statements by the Commissioners about other Commissioners and the agency have a negative effect on the agency’s work and mission.

Answered: 185 Skipped: 0

Q9: My work is valued by the Commissioners.

Answered: 185 Skipped: 0

Q10: I feel the Commissioners generally view agency

staff in an adversary or obstructionist light. Answered: 185 Skipped: 0

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Q11: The Staff Director/CIO is an effective leader.

Answered: 185 Skipped: 0

Q12: The Acting CFO is an effective leader.

Answered: 185 Skipped: 0

Q13: The Acting GC is an effective leader.

Answered: 185 Skipped: 0

Q14: Senior leaders (Staff Director/CIO, Acting CFO, and Acting GC) function to help ensure effective checks and balances happen with the actions and decisions they make. Answered: 185 Skipped: 0

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Q15: Having one person occupy both the CIO and Staff Director positions results in not enough time being devoted to either position and impacts agency performance.

Answered: 185 Skipped: 0

Q16: Having one person occupy both the CIO and Staff Director positions results in too much power

Answered: 185 Skipped: 0

Q17: Top management does a good job of communicating to me things I feel are important. Answered: 185 Skipped: 0

Q18: My supervisor does a good job of communicating to me about things I feel are important. Answered: 185 Skipped: 0

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Q19: I would like to get more frequent and up-to-date information on such things as the building move, when senior people leave, reorganizations,

when IT systems are down.

Answered: 185 Skipped: 0

Q20: The union is an important source of information to me about what is going on here. Answered: 185 Skipped: 0

Q21: Lack of communication from management creates an information vacuum that gets filled with rumors and gossip.

Answered: 185 Skipped: 0

Q22: The agency should put more emphasis on employee career development.

Answered: 185 Skipped: 0

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Q23: I have discussed my career path with my supervisor.

Answered: 185 Skipped: 0

Q24: Getting hired and promoted is based more on your skills and capabilities than it is on things like what school you attended, your age,

your minority status or on other things not related to job performance.

Answered: 185 Skipped: 0

Q25: Too often rewards, good assignments, promotions appear to go to manager’s favorites. Answered: 185 Skipped: 0

Q26: The agency should be doing more outreach to attract

qualified minority job candidates. Answered: 185 Skipped: 0

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Q27: I feel women and minorities are underrepresented in management positions.

Answered: 185 Skipped: 0

Q28: I feel confident in what my supervisor tells me is true.

Answered: 185 Skipped: 0

Q29: I feel confident in what senior management tells me is true. Answered: 185 Skipped: 0

Q30: My supervisor is an effective advocate to higher management for those of us who perform well on the job.

Answered: 185 Skipped: 0

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Q31: I believe my performance standards as currently written accurately reflect my job.

Answered: 185 Skipped: 0

Q32: I feel my ratings reflect the quality of my work.

Answered: 185 Skipped: 0

Q33: Too many employees receive inflated ratings.

Answered: 185 Skipped: 0

Q34: I feel my ratings are predetermined by

management and there is little I can do to raise them.

Answered: 185 Skipped: 0

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Q35: I feel that employees are rewarded or punished on factors divorced from their contributions to the work.

Answered: 185 Skipped: 0

Q36: I am careful what I say or do for fear of being categorized

as an “out-group” member or receiving some other type of retribution. Answered: 185 Skipped: 0

Q37: The most important concern to my management is that we get reports/work completed on time.

Answered: 185 Skipped: 0

Q38: I can count on my management team to support me should my report/work be challenged. Answered: 185 Skipped: 0

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Q39: There are supervisors or higher level managers in my division/office that treat employees poorly or inappropriately and yet nothing happens to them.

Answered: 185 Skipped: 0

Q40: My workload is generally less than it has been in the past.

Answered: 185 Skipped: 0

Q41: If it did not take so long to hire and train in replacements,

my workload would be more reasonable. Answered: 185 Skipped: 0

Q42: My work is interesting to me. Answered: 185 Skipped: 0

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Q43: I suspect my job may be classified at too low a level. Answered: 185 Skipped: 0

Q44: I am doing work that does not match my job description.

Answered: 185 Skipped: 0

Q45: I wish I had more work to do.

Answered: 185 Skipped: 0

Q46: Effective action is not being taken with one or more chronic poor performers in my division. Answered: 185 Skipped: 0

Job Performance Systems. 37

Root Cause(s) of Low Employee Morale July 2016

Q47: I have put in extra work to make up for one or more

employees that have not been pulling their weight.

Answered: 185 Skipped: 0

Q48: I cannot make full use of telework because my supervisor

says the nature of my job prevents it. Answered: 185 Skipped: 0

Q49: I believe I could telework more without it negatively impacting my work. Answered: 185 Skipped: 0

Q50: People are not as productive when they work from home.

Answered: 185 Skipped: 0

Job Performance Systems. 38

Root Cause(s) of Low Employee Morale July 2016

Q51: I find it more difficult to contact employees when they telework.

Answered: 185 Skipped: 0

Q52: I believe in the mission of this

organization. Answered: 185 Skipped: 0

Q53: The work-life balance is an important factor in why I stay here.

Answered: 185 Skipped: 0

Q54: There are aspects to the physical work environment I do not like (e.g., lack of cafeteria, no gym, too hot/cold, few windows).

Answered: 185 Skipped: 0

Job Performance Systems. 39

Root Cause(s) of Low Employee Morale July 2016

Q55: Having so many management positions filled with people in an acting role negatively impacts the agency’s work.

Answered: 185 Skipped: 0

Q56: The process followed here to upgrade computers and software is not clear and transparent.

Answered: 185 Skipped: 0

Q57: I have been generally satisfied with the support I have gotten

from HR in the past several years. Answered: 185 Skipped: 0

Q58: Over the past several months I have seen an improvement in HR services. Answered: 185 Skipped: 0

Job Performance Systems. 40

Root Cause(s) of Low Employee Morale July 2016

Q59: I would welcome more opportunities for interaction between members of divisions (e.g., agency-wide picnics, parties, information meetings). Answered: 185 Skipped: 0

Q60: My work friends at the agency help me feel more positive about

being here. Answered: 185 Skipped: 0

Q61: Certain offices and divisions are favored over others when it comes to computer and technology upgrades.

Answered: 185 Skipped: 0

Q62: I have received a gift card as a performance award in the past two years. Answered: 185 Skipped: 0

Job Performance Systems. 41

Root Cause(s) of Low Employee Morale July 2016

Q63: Gift cards, time off, and other "on-the-spot" performance awards are fairly distributed.

Answered: 185 Skipped: 0

Job Performance Systems. 42

Root Cause(s) of Low Employee Morale July 2016

APPENDIX F PERCENT OF RESPONDENTS THAT AGREED OR STRONGLY AGREED WITH EACH SURVEY I TEM

Total Organization OGC OSD OCIO OCFO Comm All Sup/Mgr Employees All Sup/Mgr Employees All Sup/Mgr Employees All ALL All 185 N=49 N=136 N=78 N=15 N=63 N=65 N=22 N=43 N=27 N=10 N=5 Q6 87.9 87.8 88.0 93.3 93.3 93.3 87.7 90.9 86.0 85.2 60.0 80.0 Q7 9.9 16.3 7.5 5.3 0.0 6.7 6.2 9.1 4.7 29.6 20.0 0.0 Q8 83.3 81.6 84.0 86.3 86.7 86.2 89.2 90.9 88.4 66.7 80.0 60.0 Q9 26.5 31.3 24.8 16.0 20.0 15.0 29.2 27.3 30.2 40.7 30.0 75.0 Q10 54.5 38.8 60.5 71.6 66.7 72.9 46.9 36.4 52.4 32.0 50.0 20.0 Q11 26.3 47.9 17.9 14.5 40.0 7.4 32.3 50.0 22.5 40.0 40.0 20.0 Q12 25.2 44.7 17.2 22.1 64.3 11.1 22.8 33.3 16.7 33.3 33.3 40.0 Q13 32.3 45.5 27.5 42.1 60.0 37.7 21.2 44.4 8.8 22.7 44.4 20.0 Q14 26.6 44.7 19.8 23.6 57.1 15.5 30.6 40.9 25.0 28.0 20.0 25.0 Q15 70.1 64.6 72.2 67.6 53.3 71.4 76.6 71.4 79.1 72.0 50.0 50.0 Q16 64.4 39.6 73.6 63.5 33.3 71.2 68.8 52.4 76.7 56.0 80.0 25.0 Q17 25.1 44.7 18.2 23.0 50.0 16.7 23.4 42.9 14.0 26.9 40.0 40.0 Q18 60.9 69.6 57.9 58.1 69.2 55.7 66.2 72.7 62.8 57.7 60.0 50.0 Q19 84.1 73.5 88.0 80.3 66.7 83.6 89.2 77.3 95.3 84.6 90.0 60.0 Q20 50.3 20.7 57.3 61.4 27.3 67.8 45.7 14.3 51.3 40.0 37.5 0.0 Q21 80.8 65.3 86.5 77.6 53.3 83.6 83.1 68.2 90.7 92.3 80.0 40.0 Q22 78.5 55.1 87.1 75.0 46.7 82.0 78.5 59.1 88.4 88.5 80.0 75.0 Q23 48.9 56.8 46.2 36.5 50.0 33.3 65.6 63.2 66.7 52.0 30.0 50.0 Q24 38.6 62.5 29.7 34.2 80.0 22.4 48.4 59.1 42.9 40.0 20.0 0.0 Q25 59.9 31.3 70.5 62.2 21.4 71.7 63.5 36.4 78.0 53.8 50.0 25.0 Q26 51.4 40.4 55.4 64.0 60.0 65.0 45.2 40.0 47.6 32.0 40.0 60.0 Q27 47.5 27.1 55.0 72.0 53.3 76.7 27.0 19.0 31.0 30.8 40.0 40.0 Q28 58.7 70.2 54.5 58.7 78.6 54.1 61.5 68.2 58.1 57.7 40.0 66.7 Q29 30.9 53.2 22.9 32.4 71.4 23.3 32.3 45.5 25.6 26.9 20.0 33.3 Q30 46.0 60.9 40.8 44.0 57.1 41.0 52.4 66.7 45.2 42.3 30.0 50.0 Q31 52.5 52.2 52.7 50.0 46.2 50.8 63.1 63.6 62.8 42.3 30.0 50.0 Q32 64.4 71.7 61.7 62.5 84.6 57.6 69.2 68.2 69.8 65.4 44.4 50.0 Q33 45.3 59.2 39.7 49.3 86.7 39.3 41.0 50.0 35.9 52.0 30.0 33.3 Q34 39.8 23.4 46.0 47.2 21.4 53.4 31.7 31.8 31.7 32.0 66.7 0.0 Q35 44.5 18.8 54.4 52.7 13.3 62.7 39.3 22.7 48.7 36.0 40.0 33.3 Q36 46.4 22.9 55.0 42.1 20.0 47.5 45.3 22.7 57.1 53.8 80.0 0.0 Q37 58.2 51.1 60.8 58.1 42.9 61.7 58.5 59.1 58.1 56.0 70.0 33.3 Q38 50.3 68.1 43.8 45.9 71.4 40.0 58.7 68.2 53.7 46.2 40.0 50.0 Q39 46.2 29.2 52.8 54.2 21.4 62.1 35.0 36.4 34.2 50.0 50.0 40.0 Q40 21.1 10.6 25.0 30.1 7.1 35.6 19.0 18.2 19.5 3.7 22.2 0.0 Q41 43.8 38.5 45.6 33.8 40.0 32.1 45.8 30.8 51.4 50.0 87.5 66.7 Q42 72.7 83.7 68.7 71.1 86.7 67.2 75.4 81.8 72.1 77.8 60.0 60.0 Q43 40.3 23.9 46.2 35.6 13.3 41.4 39.7 35.0 41.9 51.9 50.0 33.3

Job Performance Systems. 43

Root Cause(s) of Low Employee Morale July 2016

Q44 26.1 14.9 30.1 26.3 13.3 29.5 23.4 14.3 27.9 25.9 44.4 25.0 Q45 22.9 8.3 28.2 32.9 13.3 37.7 17.2 9.1 21.4 11.1 22.2 0.0 Q46 45.2 37.8 47.9 42.9 33.3 45.5 46.6 42.1 48.7 48.1 55.6 0.0 Q47 46.7 44.2 47.6 37.8 46.7 35.6 56.1 35.3 65.0 44.4 77.8 0.0 Q48 19.0 17.9 19.3 19.7 15.4 20.8 18.2 25.0 15.4 24.0 0.0 25.0 Q49 62.0 44.7 68.5 53.5 20.0 62.5 63.9 57.1 67.5 76.9 77.8 50.0 Q50 17.9 24.5 15.4 19.7 46.7 13.1 16.1 13.6 17.5 7.7 30.0 40.0 Q51 28.9 36.7 26.0 40.0 80.0 30.0 18.8 18.2 19.0 15.4 30.0 60.0 Q52 83.6 83.7 83.6 85.5 80.0 86.9 83.1 90.9 79.1 85.2 70.0 80.0 Q53 80.1 81.3 79.7 88.2 93.3 86.9 84.4 81.8 85.7 66.7 40.0 50.0 Q54 75.7 56.3 82.7 81.6 73.3 83.6 75.0 47.6 88.4 66.7 55.6 80.0 Q55 73.9 72.3 74.4 73.7 80.0 72.1 77.8 70.0 81.4 66.7 77.8 60.0 Q56 78.9 65.3 84.0 86.5 80.0 88.1 76.9 63.6 83.7 74.1 55.6 60.0 Q57 19.1 20.4 18.6 9.2 0.0 11.5 19.4 22.7 17.5 44.4 33.3 0.0 Q58 30.3 32.7 29.5 18.7 6.7 21.7 37.5 45.5 33.3 44.4 44.4 0.0 Q59 67.4 64.6 68.4 56.6 40.0 60.7 76.9 81.8 74.4 70.4 80.0 66.7 Q60 67.0 73.5 64.7 64.5 73.3 62.3 70.8 77.3 67.4 70.4 60.0 50.0 Q61 53.4 45.8 56.3 55.4 53.3 55.9 51.6 52.4 51.2 53.8 55.6 33.3 Q62 Yes 62.4 57.1 64.2 53.2 33.3 57.8 73.8 68.2 76.7 70.4 60 20 No 37.6 42.9 35.8 46.8 66.7 42.2 26.2 31.8 23.3 29.6 40 80 Q63 Yes 31.2 63.3 19.7 21.5 66.7 10.9 52.3 77.3 39.5 14.8 20 20 No 39.8 16.3 48.2 50.6 26.7 56.3 26.2 13.6 32.6 44.4 50 0 NA 29 20.4 32.1 27.8 6.7 32.8 21.5 9.1 27.9 40.7 30 80 Note: Percentages in each cell for questions 6 through 61 were calculated after first excluding any respondents in the group marking NA for the question.

Job Performance Systems. 44

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